Internal Audit Checklist – ISO 9001 Version 2015

Internal auditors need a checklist like this one as a go-to resource to simplify audit planning, guide auditing and facilitate record keeping. Furthermore, its clause-by-clause checks help ensure all ISO 9001 requirements are fulfilled.

Management of an ISO 9001-compliant Quality Management System requires support from all departments and levels of management, to achieve its maximum potential benefits for customer satisfaction and increased profits.

What is an Internal Audit?
An internal audit is a systematic and independent evaluation of the controls embedded within policies, procedures and practices of an activity or unit. Such reviews give insight into whether their operations comply with applicable laws and regulations as efficiently as possible.

The ISO 9001 audit checklist conforms with international quality management system (QMS) guidelines, providing auditors with everything they need for conducting thorough internal audits that help their organization remain compliant with ISO 9001 standards. Covering clauses 4 through 10, this comprehensive audit list helps auditors conduct rigorous and systematic inspections that help their organization remain compliant.

Assessing the competence and objectivity of internal audit functions requires an external auditor to draw from past experience with the function, discussions with functional managers and, if conducted, prior quality reviews. In making their assessment they may use professional internal auditing standards4 or carry out substantive procedures if internal auditors cannot confirm or observe specific account balances or classes of transactions.

Why do we need an Internal Audit?
All businesses face risks, so effective risk management is an integral component of business success. Internal audit can offer an independent perspective on how well your organization is handling these risks and act as an invaluable asset in reaching business goals by highlighting opportunities for improvement.

An auditor can determine whether planned arrangements are being met by reviewing records or witnessing activity and checking whether what actually occurs matches what was planned to occur. This can be applied both for outputs of the process as well as internal controls associated with it.

The ISO 9001 standard requires companies to create products and provide services that satisfy customer and regulatory needs, while an effective internal audit program plays a key role in meeting those standards. An internal audit program helps companies maintain compliance while increasing overall performance; its comprehensive checklist covers Clauses 4 through 10 of this standard to conduct thorough, systematic internal audits.

How do we prepare for an Internal Audit?
Audit processes are an integral component of quality management systems (QMSs), helping ensure customer and regulatory requirements are fulfilled. A properly conducted internal audit also assists in maintaining compliance and improving company performance.

An effective audit plan will help your business prepare for an ISO 9001:2015 internal audit with ease. Our comprehensive QMS Internal Audit Checklist Template offers a clause-by-clause checklist as well as tools and instructions that enable auditors to conduct thorough and effective inspections.

Your role as an internal auditor is to assess the risk management and control processes within your company in order to reduce risks and optimize business operations, with emphasis placed on legal compliance and policies adherence, safeguarding assets, detecting fraud or white collar crime, and verifying strength and effectiveness of practices. For a successful audit experience, planning, preparation, cooperation are key as they will provide more profound insights from this audit process.

How do we conduct an Internal Audit?
Conducting an internal audit is an ongoing process consisting of five stages: selection, planning, fieldwork, reporting and monitoring.

In the selection phase, identify which areas and processes require internal auditing, while in planning stage create a checklist, prepare for interviews, collect data and documentation and establish priorities.

Finally, the report phase includes your findings and recommendations as well as corrective actions that can reduce compliance gaps. Once implemented and maintained, this phase can also include surveillance to make sure suggested changes remain implemented and sustained.

Utilize this ISO 9001 Gap Analysis and Internal Audit Checklist as a tool for assessing your quality management system. In addition, find other ISO templates in SafetyCulture’s library that you can utilize right away. Take advantage of a free trial today to assess your business while accessing all our resources, such as an array of ready-to-use ISO documents as well as immediate corrective actions you can share instantly via Heads Up’s mobile-friendly communication tool!